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Conflicts Letter

Book Publication Date: Jul 2021
Description: Sample letter from law firm to individual stating that law firm will continue to represent both individual and securities firm in FINRA and SEC investigation, but will cease to represent individual if conflict of interest arises between individual and securities firm
Type: Other Document Templates
PLI Item #: 41022
Practice Area: Broker-dealers, Investment fund management, Practice skills (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities filings and financial statements

Keywords: "Conflicts Letter"; conflict of interest; SEC investigation; FINRA investigation; Securities and Exchange Commission; separate legal counsel; withdrawal from representation; joint representation; consent to representation

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